SPECIALTY GUIDELINES FOR 7.

FEES
FORENSIC PSYCHOLOGY
7.01 Determining Fees
7.02 Fee Arrangements
Prepared by Committee on the Revision of the Specialty
Guidelines for Forensic Psychology 8. NOTIFICATION, ASSENT, CONSENT, AND INFORMED
CONSENT
FIFTH DRAFT 8/1/10 8.01 Timing and Substance
8.02 Communication with Those Seeking to Retain a Forensic
1. INTRODUCTION Practitioner
8.03 Communication with Forensic Examinees
1.01 History of the Specialty Guidelines for Forensic Psychology 8.03.01 Persons Not Ordered or Mandated to Undergo
1.02 Definitions and Terminology Examination
1.03 Nature of Forensic Psychology 8.03.02 Persons Ordered or Mandated to Undergo Examination
1.04 Services and Functions 8.03.03 Persons Lacking Capacity to Provide Informed Consent
8.04 Communication with Collateral Sources of Information es
2. NATURE AND SCOPE OF THE GUIDELINES 8.05 Communication in Research Contexts

2.01 Intended Users 9. CONFLICTS IN PRACTICE

2.02 Aspirational Model
2.03 Goals 9.01 Conflicts with Legal Authority
2.04 Professional Discretion and Judgment 9.02 Conflicts with Organizational Demands
9.03 Resolving Ethical Issues with Fellow Professionals
3. RESPONSIBILITIES
10. PRIVACY, CONFIDENTIALITY, AND PRIVILEGE
3.01 Integrity
3.02 Impartiality and Fairness 10.01 Release of Information
3.03 Avoidance of Conflicts of Interest 10.02 Access to Information
10.03 Acquiring Third Party Information
4. COMPETENCE 10.04 Use of Case Materials in Teaching, Continuing
Education, and Other Scholarly Activities
4.01 Scope of Competence
4.02 Gaining and Maintaining Competence 11. METHODS AND PROCEDURES
4.03 Representation of Competencies
4.04 Knowledge of the Legal System and the Legal Rights of 11.01 Use of Appropriate Methods
Individuals 11.02 Use of Multiple Sources of Information
4.05 Knowledge of the Scientific Foundation for Testimony and 11.03 Opinions Regarding Persons Not Examined
Sworn Statements
4.06 Knowledge of the Scientific Foundation for Teaching and 12. ASSESSMENT
Research
4.07 Considering the Impact of Personal Beliefs and Experience 12.01 Focus on Legally Relevant Factors
4.08 Appreciation of Individual Differences 12.02 Appropriate Use of Assessment Procedures
4.09 Appropriate Use of Services and Products 12.03 Appreciation of Individual Differences
12.04 Providing Assessment Feedback
5. DILIGENCE 12.05 Documentation and Compilation of Data Considered
12.06 Provision of Documentation
5.01 Provision of Services 12.07 Record Keeping
5.02 Responsiveness
5.03 Communication 13. PROFESSIONAL AND OTHER PUBLIC
5.04 Termination of Services COMMUNICATIONS

6. RELATIONSHIPS 13.01 Accuracy, Fairness, and Avoidance of Deception

6.01 Responsibilities to Retaining Parties
6.02 Multiple Relationships
6.02.01 Therapeutic-Forensic Role Conflicts
6.02.02 Expert Testimony by Practitioners Providing
Therapeutic Services
6.02.03 Provision of Forensic Therapeutic Services
6.03 Provision of Emergency Mental Health Services
13.02 Differentiating Observations, Inferences, and
Conclusions
13.03 Disclosing Sources of Information and Bases of Opinions
13.04 Comprehensive and Accurate Presentation of Opinions in
Reports and Testimony
13.05 Commenting Upon Other Professionals and Participants
in Legal Proceedings
13.06 Out of Court Statements
13.07 Commenting Upon Legal Proceedings

1
APPENDIX I: BACKGROUND OF THE GUIDELINES AND
THE REVISION PROCESS

A. History of the Guidelines

B. Revision Process
C. Need for the Guidelines
D. Developers and Support
E. Background Literature
F. Current Status

APPENDIX II: DEFINITIONS AND TERMINOLOGY

Submit comments regarding this draft to:

sgfpdraft@yahoo.com

or

Randy Otto, PhD

FMHI
13301 N. 30th St.
Tampa, FL 33612
(F): 813-974-6411

When submitting comments please identify the specific section

you are referencing (e.g., 7.01, 8.03.03) and provide
recommended alternative language when appropriate.

2
 SPECIALTY GUIDELINES FOR
FORENSIC PSYCHOLOGY
FOURTH DRAFT
RELEASED SEPTEMBER 2, 2008
1. INTRODUCTION
1.01 History of the Specialty Guidelines for
Forensic Psychology
This document replaces the 1991 Specialty
Guidelines for Forensic Psychologists which were
approved by the American Psychology-Law
Society, Division 41 of the American
Psychological Association (APA) and the
American Board of Forensic Psychology. The
current revision has also been approved by the
Council of Representatives of the American
Psychological Association. Appendix I includes a
discussion of the revision process, enactment, and
current status of these Guidelines.
1.02 Definitions and Terminology
Appendix II includes definitions and terminology
as used for the purposes of these Guidelines.
1.03 Nature of Forensic Psychology
For the purposes of these Guidelines, forensic
psychology refers to all professional practice by
any psychologist working within any sub-
discipline of psychology (e.g., clinical,
developmental, social, cognitive) when applying
the scientific, technical, or specialized knowledge
of psychology to the law to assist in addressing
legal, contractual, and administrative matters.
Application of the Guidelines does not depend on
the practitioner’s typical areas of practice or
expertise, but rather on the service provided in the
case at hand. These Guidelines apply in all
matters in which practitioners provide forensic
psychological expertise to judicial, administrative,
and educational systems including, but not limited
to, examining or treating persons in anticipation of
or subsequent to legal, contractual, administrative,
proceedings; offering expert opinion about
psychological issues in the form of amicus briefs
3
or testimony to judicial, legislative or
administrative bodies; acting in an adjudicative
capacity; serving as a trial consultant or otherwise
offering expertise to attorneys, the courts, or
others; conducting research in connection with, or
in the anticipation of, litigation; or involvement in
educational activities of a forensic nature.
Psychological practice is not considered forensic
solely because the conduct takes place in, or the
product is presented in, a tribunal or other judicial,
legislative, or administrative forum. For example,
when a party (such as a civilly or criminally
detained individual) or another individual (such as
a child whose parents are involved in divorce
proceedings) is ordered into treatment with a
practitioner, that treatment is not necessarily the
practice of forensic psychology. In addition,
psychological testimony that is solely based on the
provision of psychotherapy and does not include
psycholegal opinions is not ordinarily considered
forensic practice.
For the purposes of these Guidelines, “forensic
practitioner” refers to a psychologist when
engaged in the practice of forensic psychology as
described above. Such professional conduct is
considered forensic from the time the practitioner
reasonably expects to, agrees to, or is legally
mandated to, provide expertise on an explicitly
psycholegal issue.
1.04 Services and Functions
The provision of forensic services may include a
wide variety of psycholegal roles and functions.
For example, as researchers, forensic practitioners
may participate in the collection and
dissemination of data that are relevant to various
legal issues. As advisors, forensic practitioners
may provide an attorney with an informed
understanding of the role that psychology can
play in the attorney’s case. As consultants,
forensic practitioners may explain the practical
implications of relevant research, examination
findings, and the opinions of other psycholegal
experts. As examiners, forensic practitioners may
assess an individual’s functioning and report
findings to the attorney, a legal tribunal, an
employer, an insurer, or others. As treatment
providers, forensic practitioners may provide
therapeutic services tailored to the issues and
context of a legal proceeding. As mediators or
negotiators, forensic practitioners may serve in a
third-party neutral role and assist parties in
resolving disputes. As arbiters, special masters,
or case managers with decision-making authority,
forensic practitioners may serve parties,
attorneys, and the courts.
2. NATURE AND SCOPE OF THE
GUIDELINES
2.01 Intended Users
These Guidelines are intended for use by
psychologists when engaged in the practice of
forensic psychology as described above (1.02,
1.03, and 1.04), and may also provide guidance on
professional conduct to the legal system, and other
organizations and professions.
2.02 Aspirational Model
The Guidelines are aspirational in nature and
recommend professional behavior and conduct for
forensic practitioners. They are intended to
inform the judgment of forensic psychologists and
not replace it. Forensic practitioners adhere to
applicable codes of ethics and laws, rules and
regulations; and consider all appropriate sources
of professional authority to inform their behavior
in forensic settings.
2.03 Goals
The goals of the Guidelines are to improve the
quality of forensic psychological services;
enhance the practice and facilitate the systematic
development of forensic psychology; encourage a
high level of quality in professional practice; and
encourage forensic practitioners to acknowledge
and respect the rights of those they serve.
4
2.04 Professional Discretion and Judgment
Guidelines differ from practice standards and
other required codes of conduct. Standards are
mandatory and may be accompanied by an
enforcement mechanism; guidelines reflect
aspirations for accomplishment and are not
accompanied by an enforcement mechanism.
These Guidelines should be considered in
conjunction with the Ethical Principles of
Psychologists and Code of Conduct (EPPCC).
The Guidelines are advisory and are to be
understood only as providing further guidance for
forensic practitioners and others. In cases in
which obligations of forensic psychologists are
referenced in these Guidelines, reference to the
section of the EPPC that imposes such an
obligation is provided.
The Guidelines are not mandatory or exhaustive
and may not be applicable to every forensic
situation or jurisdiction. As such, the Guidelines
are advisory in areas in which the forensic
practitioner has discretion to exercise professional
judgment that is not prohibited or mandated by the
EPPCC or by applicable law, rules, or regulations.
The Guidelines neither add obligations to nor
eliminate obligations from the EPPCC, but
provide additional guidance for psychologists.
The modifiers used in the Guidelines (e.g.,
reasonably, appropriate, potentially) are included
in recognition of the need for professional
judgment on the part of forensic practitioners;
ensure applicability across the broad range of
activities conducted by forensic practitioners; and
reduce the likelihood of enacting an inflexible set
of guidelines that might be inapplicable as
forensic practice evolves. The use of these
modifiers, and the recognition of the role of
professional discretion and judgment, also reflects
that forensic practitioners are likely to encounter
facts and circumstances not anticipated by the
Guidelines and they may have to act upon
uncertain or incomplete evidence. The Guidelines
may provide general or conceptual guidance in
such circumstances. The Guidelines do not,
however, exhaust the legal, professional, moral,
and ethical considerations that inform forensic
practitioners, for no complex activity can be
completely defined by legal rules, codes of
conduct, and aspirational guidelines.
2.05 Limitations
The Guidelines are not intended to serve as a basis
for disciplinary action or civil liability. The
standard of care is established by a competent
authority not by the Guidelines. No ethical,
licensure, or other administrative action or
remedy, nor any other cause of action, should be
taken solely on the basis of a forensic practitioner
acting in a manner consistent or inconsistent with
these Guidelines.
In cases in which a competent authority references
the Guidelines when formulating standards, the
Guidelines advise that the authority consider that
the Guidelines attempt to identify a high level of
quality in forensic practice. Competent practice is
defined as the conduct of a reasonably prudent
forensic practitioner engaged in similar activities
in similar circumstances. Professional conduct
evolves and may be viewed along a continuum of
adequacy, and “minimally competent” and “best
possible” are usually different points along that
continuum.
The Guidelines are designed to be national in
scope and are intended to be consistent with state
and federal law. In cases in which a conflict
between legal and professional obligations occur,
forensic practitioners make known their
commitment to the EPPCC and the Guidelines and
take steps to achieve an appropriate resolution
consistent with the EPPCC and Guidelines.
3. RESPONSIBILITIES
3.01 Integrity
Forensic practitioners seek to promote accuracy,
honesty, and truthfulness in the science, teaching,
and practice of forensic psychology and they
strive to resist partisan pressures to provide
services in any ways that might tend to be
misleading or inaccurate.
5
3.02 Impartiality and Fairness
When offering expert opinion to be relied upon by
a decision maker, providing forensic therapeutic
services, or teaching or conducting research,
forensic practitioners demonstrate commitment to
the goals of accuracy, objectivity, fairness, and
independence. Forensic practitioners recognize
the adversarial nature of the legal system and
strive to treat all participants and weigh all data,
opinions, and rival hypotheses objectively.
When conducting forensic examinations, forensic
practitioners strive to beunbiased and objective,
and to avoid partisan presentation of
unrepresentative, incomplete, or inaccurate
evidence that might mislead finders of fact. This
guideline does not preclude forceful presentation
of the data and reasoning upon which a conclusion
or professional product is based.
When providing educational services, forensic
practitioners seek to represent alternative
perspectives, including data, studies, or evidence
on both sides of the question, in an accurate, fair
and professional manner, and demonstrate a
willingness to weigh and present all views, facts,
or opinions impartially.
When conducting research, forensic practitioners
seek to represent results in a fair and objective
manner. Forensic practitioners strive to utilize
research designs and scientific methods that
adequately and fairly test the questions at hand,
and they attempt to resist partisan pressures to
develop designs or report results in ways that
might be misleading or unfairly bias the results of
a test, study, or evaluation.
3.03 Avoiding Conflicts of Interest
Forensic practitioners refrain from taking on a
professional role when personal, scientific,
professional, legal, financial, or other interests or
relationships could reasonably be expected to
impair their objectivity, competence, or
effectiveness, or expose others with whom a
professional relationship exists to harm (EPPCC
Section 3.06).
Forensic practitioners identify, make known, and
address real or apparent conflicts of interest in an
attempt to maintain the public confidence and
trust, discharge professional obligations, and
maintain responsibility, objectivity, and
accountability. Whenever possible, such conflicts
are revealed to all parties as soon as they become
known to the psychologist. Forensic practitioners
consider whether a prudent and competent
forensic practitioner engaged in similar
circumstances would determine that the ability to
make a proper decision is likely to become
impaired under the immediate circumstances.
When a conflict of interest is determined to be
manageable, continuing services are provided and
documented in a way to manage the conflict,
maintain accountability, and preserve the trust of
relevant others (also see Section 6.02 below).
4. COMPETENCE
4.01 Scope of Competence
In determining one’s competence to provide
services in a particular matter, forensic
practitioners consider a variety of relevant factors
including the relative complexity and specialized
nature of the service, relevant training and
experience, the preparation and study they are able
to devote to the matter, and the opportunities for
consultation with a professional of established
competence in the subject matter in question.
Even with regard to subjects in which they are
expert, forensic practitioners may choose to
consult with colleagues.
4.02 Gaining and Maintaining Competence
Competence can be acquired through various
combinations of education, training, supervised
experience, consultation, study, and professional
experience. Forensic practitioners planning to
provide services, teach, or conduct research
involving populations, areas, techniques, or
technologies that are new to them are encouraged
to undertake relevant education, training,
supervised experience, consultation, or study.
6
Forensic practitioners make ongoing efforts to
develop and maintain their competencies (EPPCC
Section 2.03). To maintain the requisite
knowledge and skill, forensic practitioners keep
abreast of developments in the fields of
psychology and the law and engage in continuing
study and education.
4.03 Representing Competencies
Consistent with the EPPCC, forensic practitioners
adequately and accurately inform all recipients of
their services (e.g., attorneys, tribunals) about
relevant aspects of the nature and extent of their
experience, training, credentials, and
qualifications, and how they were obtained
(EPPCC Section 5.01
4.04 Knowledge of the Legal System and the
Legal Rights of Individuals
Forensic practitioners recognize the importance of
obtaining a fundamental and reasonable level of
knowledge and understanding of the legal and
professional standards, laws, rules, and precedents
that govern their participation in legal proceedings
and that guide the impact of their services on
service recipients (EPPCC Section 2.01).
Forensic practitioners aspire to manage their
professional conduct in a manner that does not
threaten or impair the rights of affected
individuals. They may consult with, and refer
others to, legal counsel on matters of law.
Although they do not provide formal legal advice
or opinions, forensic practitioners may provide
information about the legal process to others based
on their knowledge and experience. They strive to
distinguish this from legal opinions, however, and
encourage consultation with attorneys as
appropriate.
4.05 Knowledge of the Scientific Foundation for
Opinions and Testimony
When providing opinions and testimony that are
based on novel or emerging principles and
methods forensic practitioners, when possible,
make known the limitations of these principles
and methods. Forensic practitioners seek to
provide opinions and testimony that are
sufficiently based upon adequate scientific
foundation, and reliable and valid principles and
methods that have been applied appropriately to
the facts of the case.
4.06 Knowledge of the Scientific Foundation for
Teaching and Research
Forensic practitioners engage in teaching and
research activities in which they have adequate
knowledge, experience, and education (EPPCC
Section 2.01, and they acknowledge relevant
limitations and caveats inherent in procedures and
conclusions (EPPCC Section 5.01).
4.07 Considering the Impact of Personal Beliefs
and Experience
Forensic practitioners recognize that their own
attitudes, values, beliefs, opinions, or biases may
diminish their ability to practice in a competent
and impartial manner. Under such circumstances,
forensic practitioners may take steps to correct or
limit such effects, decline participation in the
matter, or limit their participation in a manner that
is consistent with professional obligations.
4.08 Appreciation of Individual Differences
When scientific or professional knowledge in the
discipline of psychology establishes that an
understanding of factors associated with age,
gender, gender identity, race, ethnicity, culture,
national origin, religion, sexual orientation,
disability, language, socioeconomic status, or
other relevant individual differences affects
implementation or use of their services or
research, forensic practitioners first consider the
boundaries of their expertise, make an appropriate
referral if indicated, or gain the necessary training,
7
experience, consultation, or supervision (EPPCC
Section 2.01,
Forensic practitioners do not engage in unfair
discrimination based on such factors or on any
basis proscribed by law (EPPCC Section 3.01).
They strive to take steps to correct or limit the
effects of such factors on their work, decline
participation in the matter, or limit their
participation in a manner that is consistent with
professional obligations.
4.09 Appropriate Use of Services and Products
Forensic practitioners make reasonable efforts to
guard against misuse of their services and exercise
professional discretion in addressing such misuses.
5. DILIGENCE
5.01 Provision of Services
Forensic practitioners are encouraged to seek
explicit agreements that define the scope of, time-
frame of, and compensation for their services. In
the event that a client breaches the contract or acts
in way that would require the practitioner to
violate ethical, legal or professional obligations,
the forensic practitioner may terminate the
relationship.
Forensic practitioners strive to act with reasonable
diligence and promptness in providing agreed-
upon and reasonably anticipated services.
Forensic practitioners are not bound, however, to
provide services not reasonably anticipated when
retained, nor to provide every possible aspect or
variation of service. Instead, forensic practitioners
may exercise professional discretion in
determining the extent and means by which
services are provided and agreements are fulfilled.
5.02 Responsiveness
Forensic practitioners seek to manage their
workloads so that services can be provided
thoroughly, competently, and promptly. They
recognize that acting with reasonable promptness,
however, does not require the forensic practitioner
to acquiesce to service demands not reasonably
anticipated at the time the service was requested,
nor does it require the forensic practitioner to
provide services if the client has not acted in a
manner consistent with existing agreements,
including payment of fees.
5.03 Communication
Forensic practitioners strive to keep their clients
reasonably informed about the status of their
services, comply with their clients’ reasonable
requests for information, and consult with their
clients about any substantial limitation on their
conduct or performance that may arise when they
reasonably believe that their clients anticipate a
service that may not be consistent with the
Guidelines. Forensic practitioners attempt to keep
their clients reasonably informed regarding new
facts, opinions, or other potential evidence that
may be relevant and applicable.
5.04 Termination of Services
The forensic practitioner seeks to carry through to
conclusion all matters undertaken for a client
unless the forensic practitioner-client relationship
is terminated. When a forensic practitioner’s
employment is limited to a specific matter, the
relationship terminates when the matter has been
resolved, when anticipated services have been
completed, when the agreement has been violated.
6. RELATIONSHIPS
Whether a forensic practitioner-client relationship
exists depends on the circumstances and is
determined by a number of factors which may
include the information exchanged between the
potential client and the forensic practitioner prior
to, or at the initiation of, any contact or service,
the nature of the interaction, and the purpose of
the interaction.
In their work, forensic practitioners recognize that
a relationship is established with those who retain
their services (e.g., retaining parties, employers,
insurers, the court) and those with whom they
interact (e.g., examinees, collateral contacts,
8
research participants, students). Forensic
practitioners recognize that associated obligations
and duties vary as a function of the nature of the
relationship.
6.01 Responsibilities to Retaining Parties
Most responsibilities to the retaining party attach
only after the retaining party has requested and the
forensic practitioner has agreed to render
professional services and an agreement regarding
compensation has been reached. Forensic
practitioners are aware that there are some
responsibilities, such as privacy, confidentiality,
and privilege that may attach when the forensic
practitioner agrees to consider whether a forensic
practitioner-retaining party relationship shall be
established. Forensic practitioners, prior to
entering into a contract, may direct the potential
retaining party not to reveal any confidential or
privileged information as a way of protecting the
retaining party’s interest in case a conflict exists as
a result of pre-existing relationships.
At the initiation of any request for service,
forensic practitioners seek to clarify the nature of
the relationship and the services to be provided
including the role of the forensic practitioner (e.g.,
trial consultant, forensic examiner, treatment
provider, expert witness, research consultant);
which person or entity is the client; the probable
uses of the services provided or information
obtained; and any limitations to privacy,
confidentiality, or privilege.
6.02 Multiple Relationships
A multiple relationship occurs when a forensic
practitioner is in a professional role with a person
and, at the same time or at a subsequent time, is in
a different role with the same person; is involved
in a personal, fiscal, or other relationship with an
adverse party; at the same time is in a relationship
with a person closely associated with or related to
the person with whom the forensic practitioner has
the professional relationship; or offers or agrees to
enter into another relationship in the future with
the person or a person closely associated with or
related to the person (EPPCC Section 3.05).
Forensic practitioners recognize the potential
conflicts of interest and threats to objectivity
inherent in multiple relationships. Forensic
practitioners recognize that some personal and
professional relationships may interfere with their
ability to practice in a competent and objective
manner and they seek to minimize any detrimental
effects by avoiding involvement in such matters
whenever feasible or limiting their assistance in a
manner that is consistent with professional
obligations.
6.02.01 Therapeutic-Forensic Role Conflicts
Providing forensic and therapeutic psychological
services to the same individual or closely related
individuals involves multiple relationships that may
impair objectivity and/or cause exploitation or other
harm. Therefore, when requested or ordered to
provide either concurrent or sequential forensic and
therapeutic services, forensic practitioners disclose
the potential risk and make reasonable efforts to
refer the request to another qualified provider. If
referral is not possible, the forensic practitioner
considers the risks and benefits to all parties and
to the legal system or entity likely to be impacted,
the possibility of separating each service widely in
time, seeking judicial review and direction, and
consulting with knowledgeable colleagues. When
providing both forensic and therapeutic services,
forensic practitioners seek to minimize the
potential negative effects of this circumstance.
6.02.02 Expert Testimony by Practitioners
Providing Therapeutic Services
Providing expert testimony about a patient who is
a participant in a legal matter does not necessarily
involve the practice of forensic psychology even
when that testimony is relevant to a psycholegal
issue that is before the decision-maker. For
example, providing testimony on matters such as a
patient’s reported history or other statements,
mental status, diagnosis, progress, prognosis, and
treatment would not ordinarily be considered
forensic practice even when the testimony is
related to a psycholegal issue before the decision-
maker. Rendering opinions and providing
testimony about a person on psycholegal issues
9
(e.g., criminal responsibility, legal causation,
proximate cause, trial competence, testamentary
capacity, the relative merits of parenting
arrangements) would ordinarily be considered the
practice of forensic psychology.
Consistent with their ethical obligations to base
their opinions on information and techniques
sufficient to substantiate their findings (EPPCC
Sections 2.04, 9.01), forensic practitioners provide
testimony only on those issues for which they
have adequate foundation and only when a
reasonable forensic practitioner engaged in similar
circumstances would determine that the ability to
make a proper decision is unlikely to be impaired.
As with testimony regarding forensic examinees,
the testimony identifies any substantial lack of
corroboration or other substantive limitation that
may affect the reliability and validity of the fact or
opinion offered and communicates these to the
decision maker.
6.02.03 Provision of Forensic Therapeutic
Services
Although some therapeutic services can be
considered forensic in nature, the fact that
therapeutic services are ordered by the court or are
delivered to someone does not necessarily make
them forensic.
In determining whether a therapeutic service
should be considered the practice of forensic
psychology, psychologists consider the
potential impact of the legal context on
treatment, the potential for treatment to impact
the psycholegal issues involved in the case, and
whether another reasonable psychologist in a
similar position would consider the service to
be forensic and these Guidelines to be
applicable.
Therapeutic services can have significant effects
on current or future legal proceedings. Forensic
practitioners are encouraged to consider these
effects and minimize any unintended or negative
effects on such proceedings or therapy when they
provide therapeutic services in forensic contexts.
6.03 Provision of Emergency Mental Health
Services to Forensic Examinees
When providing forensic examination services an
emergency may arise that requires the forensic
practitioner to provide therapeutic services to the
examinee in order to prevent imminent harm to the
examinee or others. In such cases, the forensic
practitioner strives to limit disclosure of
information to that which is consistent with
applicable law, code, statute, and order of the
court, and informs the retaining attorney, legal
representative, or the court in an appropriate
manner. Upon providing emergency treatment to
examinees, forensic practitioners consider whether
they can continue in a forensic role with that
individual so that potential for harm to the
recipient of services is avoided.
7. FEES
7.01 Determining Fees
When determining fees forensic practitioners may
consider salient factors such as their experience
providing the service, the time and labor required,
the novelty and difficulty of the questions
involved, the skill required to perform the service,
the fee customarily charged for similar forensic
services, the likelihood that the acceptance of the
particular employment will preclude other
employment, the time limitations imposed by the
client or circumstances, the nature and length of
the professional relationship with the client, and
any legal requirements.
7.02 Fee Arrangements
Forensic practitioners seek to avoid undue
influence that might result from financial
compensation or other gains. Because of the
threat to objectivity presented by the acceptance of
contingent fees and associated legal prohibitions,
forensic practitioners strive to avoid providing
professional services on the basis of contingent
fees.
10
Letters of protection, financial guarantees, and
other security for payment of fees in the future are
not considered contingent fees unless payment is
dependent on the outcome of the matter.
8. INFORMED CONSENT, NOTIFICATION
AND ASSENT
Because substantial rights, liberties, and properties
are often at risk in forensic matters and because
the methods and procedures of forensic
practitioners are complex and may not be
accurately anticipated by the recipients of forensic
services, forensic practitioners strive to inform
service recipients about the nature and parameters
of the services to be provided.
Forensic practitioners carefully consider the
appropriateness of conducting a forensic
evaluation of an individual who is not represented
by counsel.
8.01 Timing and Substance
Forensic practitioners strive to inform clients,
examinees, and others who are the recipients of
forensic services as soon as is feasible about the
nature and extent of reasonably anticipated
forensic services.
In determining what information to impart,
forensic practitioners consider a variety of factors
including the person’s experience or training in
psychological and legal matters of the type
involved and whether the person is represented by
counsel. When questions or uncertainties remain
after they have made the effort to explain the
necessary information, forensic practitioners may
recommend that the person seek legal advice.
8.02 Communication with Those Seeking to
Retain a Forensic Practitioner
As part of the initial process of being retained, or
as soon thereafter as previously unknown
information becomes available, forensic
practitioners strive to disclose to the retaining
party information that would reasonably be
anticipated to affect a decision to retain or
continue the services of the forensic practitioner.
This disclosure includes all information that the
reasonably prudent recipient of service would
desire to know and may include, but is not limited
to, the fee structure for anticipated services; prior
and current personal or professional activities,
obligations and relationships that would
reasonably lead to the fact or the appearance of a
conflict of interest; the forensic practitioner’s
knowledge, skill, experience, and education
relevant to the forensic services being considered,
including any significant limitations; and the
scientific bases and limitations of the methods and
procedures which are expected to be employed.
8.03 Communication with Forensic Examinees
Forensic practitioners inform examines about the
nature and purpose of the examination (EPPCC
Section 9.03). Information they may includes the
purpose, nature, and anticipated use of the
examination; who will have access to the
information; associated limitations on privacy,
confidentiality, and privilege including who is
authorized to release or access the information
contained in the forensic practitioner’s records; the
voluntary or involuntary nature of participation,
including potential consequences of participation
or non-participation, if known; and, if the cost of
the service is the responsibility of the examinee,
the anticipated cost.
8.03.01 Persons Not Ordered or Mandated to
Undergo Examination
If the examinee is not ordered by the court to
participate in a forensic examination, the forensic
practitioner seeks his or her informed consent
(EPPCC Sections 3.10, 9.03). If the examinee
declines to proceed after being notified of the
nature and purpose of the forensic examination,
the forensic practitioner may consider postponing
the examination, advising the examinee to contact
his or her attorney, and notifying the retaining
party about the examinee’s unwillingness to
proceed.
11
8.03.02 Persons Ordered or Mandated to
Undergo Examination or Treatment
If the examinee is ordered by the court to
participate, the forensic practitioner can conduct
the examination over the objection, and without
the consent, of the examinee (EPPCC Sections
3.10, 9.03). If the examinee declines to proceed
after being notified of the nature and purpose of
the forensic examination, the forensic practitioner
may, as appropriate, attempt to conduct the
examination, postpone the examination, advise the
examinee to contact his or her attorney, or notify
the retaining party about the examinee’s
unwillingness to proceed.
When an individual is ordered to undergo
treatment but the goals of treatment are
determined by a legal authority rather than the
individual receiving services, the forensic
practitioner informs the service recipient of the
nature and purpose of treatment, and any
limitations on confidentiality and privilege
(EPPCC Sections 3.10, 10.01).
8.03.03 Persons Lacking Capacity to Provide
Informed Consent
For examinees adjudicated or presumed by law to
lack the capacity to provide informed consent for
the anticipated forensic service, the forensic
practitioner nevertheless provides an appropriate
explanation, seeks the examinee's assent, and
obtain appropriate permission from a legally
authorized person, as permitted or required by law
(EPPCC Sections 3.10, 9.03).
For examinees whom the forensic practitioner has
concluded lack capacity to provide informed
consent to a proposed, non-court-ordered service,
but who have not been adjudicated as lacking such
capacity, the forensic practitioner strives to take
reasonable steps to protect their rights and welfare
(EPPCC Section 3,10). This maybe accomplished
by suspending the proposed service or notifying
the examinee’s attorney or the retaining party.
8.04 Communication with Collateral Sources of
Information
Forensic practitioners disclose to collateral
sources of information relevant information that
may include, but may not be limited to, who has
retained the forensic practitioner; the nature,
purpose, and intended use of the examination or
other procedure; associated limits on privacy,
confidentiality, and privilege; and whether their
participation is voluntary (EPPCC Section 3.10).
8.05 Communication in Research Contexts
When engaging in research or scholarly activities
conducted as a service to a client in a legal
proceeding, forensic practitioners attempt to
clarify any anticipated further use of such research
or scholarly product, disclose their role in the
resulting research or scholarly products, and
obtain whatever consent or agreement is required.
In advance of any scientific study, forensic
practitioners seek to negotiate the circumstances
under and manner in which the results may be
made known to others. Forensic practitioners
strive to balance the potentially competing rights
and interests of the retaining party with the
inappropriateness of suppressing data, for
example, by agreeing to report the data without
identifying the jurisdiction in which the study took
place.
Forensic practitioners represent the results of
research in an accurate manner (EPPCC Section
5.01).
9. CONFLICTS IN PRACTICE
In forensic psychology practice, conflicting
responsibilities and demands may be encountered.
When conflicts occur, forensic practitioners seek
to maintain a disciplined, fair, and professional
demeanor.
9.01 Conflicts with Legal Authority
When their responsibilities conflict with law,
regulations, or other governing legal authority,
forensic practitioners make known their
commitment to the EPPCC, and take steps to
12
resolve the conflict. When the conflict cannot be
resolved by such means, forensic practitioners
may adhere to the requirements of the law,
regulations, or other governing legal authority, but
only to the extent required. In situations where the
EPPCC or Guidelines may be in conflict with the
requirements of law, attempts to resolve the
conflict are made in accordance with the EPPCC
(EPPCC Section 1.02).
9.02 Conflicts with Organizational Demands
When the demands of an organization with which
they are affiliated or for whom they are working
conflict with their professional responsibilities and
obligations, forensic practitioners clarify the
nature of the conflict and, to the extent feasible,
resolve the conflict in a way consistent with
professional obligations and responsibilities.
9.03 Resolving Ethical Issues with Fellow
Professionals
When an apparent or potential ethical violation
has caused, or is likely to cause, substantial harm,
forensic practitioners take action appropriate to the
situation and consider a number of factors
including the nature and the immediacy of the
potential harm; applicable privacy, confidentiality,
and privilege; how the rights of the relevant
parties may be affected by a particular course of
action; and any other legal or ethical obligations
(EPPCC Section 1.04).
Steps to resolve perceived ethical conflicts may
include, but are not limited to, obtaining the
consultation of knowledgeable colleagues,
obtaining the advice of independent counsel, and
conferring directly with the attorneys involved.
When forensic practitioners believe that there may
have been an ethical violation by another
professional, an attempt is made to resolve the
issue by bringing it to the attention of that
individual, if that attempt does not violate any
rights or privileges that may be involved, and if an
informal resolution appears appropriate (EPPCC
Section 1.04). If this does not result in a
satisfactory resolution, the forensic practitioner
may take further action appropriate to the
situation, including consideration of making a
report to third parties of the perceived ethical
violation. In most instances, in order to minimize
unforeseen risks to the party’s rights in the legal
matter, forensic practitioners consider consulting
with the retaining party before attempting to
resolve a perceived ethical violation with another
professional.
10. PRIVACY, CONFIDENTIALITY, AND
PRIVILEGE
Forensic practitioners recognize their ethical
obligations to maintain the confidentiality of
information relating to a client or retaining party,
except insofar as disclosure is consented to by the
client or retaining party, or required or permitted
by law (EPPCC Section 4.01).
10.01 Release of Information
Forensic practitioners recognize the importance of
complying with properly noticed and served
subpoenas or court orders directing release of
information, or other legally proper consent from
duly authorized persons, unless there is a legally
valid reason to offer an objection. When in doubt
about an appropriate response or course of action,
forensic practitioners may seek assistance from the
retaining party, retain and seek legal advice from
their own attorney, or formally notify the drafter
of the subpoena of their uncertainty.
10.02 Access to Information
If requested, forensic practitioners seek to provide
the retaining party access to, and a meaningful
explanation of, all information that is in their
records for the matter at hand, consistent with the
relevant law, applicable codes of ethics and
professional standards, and institutional rules and
regulations. Forensic examinees typically are not
provided access to the forensic practitioner’s
records without the consent of the retaining party.
Access to records by anyone other than the
retaining party is governed by legal process,
usually subpoena or court order, or by explicit
consent of the retaining party. Forensic
13
practitioners may charge a reasonable fee for the
costs associated with the storage, reproduction,
review, and provision of records.
10.03 Acquiring Collateral and Third Party
Information
Forensic practitioners strive to request information
or records from collateral sources with the consent
of the relevant attorney or the relevant party, or
when otherwise authorized by law or court order.
10.04 Use of Case Materials in Teaching,
Continuing Education, and Other Scholarly
Activities
Forensic practitioners using case materials for
purposes of teaching, training, or research strive to
present such information in a fair, balanced, and
respectful manner. They attempt to protect the
privacy of persons by disguising the confidential,
personally identifiable information of all persons
and entities who would reasonably claim a privacy
interest; using only those aspects of the case
available in the public domain; or obtaining
consent from the relevant clients, parties,
participants, and organizations to use the materials
for such purposes (EPPCC Section 4.07; see
Sections 13.06 and 13.07 of these guidelines).
11. METHODS AND PROCEDURES
11.01 Use of Appropriate Methods
Forensic practitioners strive to utilize appropriate
methods and procedures in their work. When
performing examinations, treatment, consultation,
educational activities or scholarly investigations,
forensic practitioners seek to maintain integrity by
examining the issue or problem at hand from all
reasonable perspectives and seek information that
will differentially test plausible rival hypotheses.
11.02 Use of Multiple Sources of Information
Forensic practitioners ordinarily avoid relying
solely on one source of data, and corroborate
important data whenever feasible. When relying
upon data that have not been corroborated,
forensic practitioners seek to make known the
uncorroborated status of that data, any associated
strengths and limitations, and the reasons for
relying upon it.
11.03 Opinions Regarding Persons Not
Examined
Forensic practitioners recognize their ethical
obligations to only provide written or oral
evidence about the psychological characteristics of
particular individuals when they have sufficient
information or data to form an adequate
foundation for those opinions or to substantiate
their findings (EPPCC Section 9.01). Forensic
practitioners seek to make reasonable efforts to
obtain such information or data, and they
document their efforts to obtain it. When it is not
possible or feasible to examine individuals about
whom they are offering an opinion, forensic
practitioners strive to make clear the impact of
such limitations on the reliability and validity of
their professional products, opinions, or testimony.
When conducting a record review or providing
consultation or supervision that does not warrant
an individual examination, forensic practitioners
seek to identify the sources of information on
which they are basing their opinions and
recommendations, including any substantial
limitations to their opinions and recommendations.
12. ASSESSMENT
12.01 Focus on Legally Relevant Factors
Forensic examiners seek to assist the trier of fact
to understand evidence or determine a fact in
issue, and they provide information that is most
relevant to the psycholegal issue. In reports and
testimony forensic practitioners typically provide
information about examinees’ functional abilities,
capacities, knowledge, and beliefs, and address
their opinions and recommendations to the
identified psycholegal issues.
Forensic practitioners are sensitive to the problems
posed by using a clinical diagnosis in
14
forensic contexts and consider and qualify their
opinions and testimony appropriately.
12.02 Appropriate Use of Assessment
Procedures
Forensic practitioners use assessment procedures
in the manner and for the purposes that are
appropriate in light of the research on or evidence
of their usefulness and proper application (EPPCC
Section 9.02). This includes assessment
techniques, interviews, tests, instruments, and
other procedures and their administration,
adaptation, scoring, and interpretation, including
computerized scoring and interpretation systems.
Assessment in forensic contexts differs from
assessment in therapeutic contexts in important
ways that forensic practitioners strive to take into
account when conducting forensic examinations.
Forensic practitioners seek to consider the
strengths and limitations of employing traditional
assessment procedures in forensic examinations.
Given the stakes involved in forensic contexts,
forensic practitioners recognize the need to take
special care to ensure the integrity and security of
test materials and results.
When the validity of an assessment technique has
not been established in the forensic context or
setting in which it is being used, the forensic
practitioner seeks to describe the strengths and
limitations of any test results and explain the
extrapolation of these data to the forensic context.
Because of the many differences between forensic
and therapeutic contexts, forensic practitioners are
aware and seek to make known that some
examination results may warrant substantially
different interpretation when administered in
forensic contexts.
Forensic practitioners consider and seek to make
known that forensic examination results can be
affected by factors unique to, or differentially
present in, forensic contexts including response
style, voluntariness of participation, and
situational stress associated with involvement in
forensic or legal matters.
12.03 Appreciation of Individual Differences
When interpreting assessment results, forensic
practitioners consider the purpose of the
assessment as well as the various test factors, test-
taking abilities, and other characteristics of the
person being assessed, such as situational,
personal, linguistic, and cultural differences that
might affect their judgments or reduce the
accuracy of their interpretations (EPPCC Section
9.06). Forensic practitioners strive to identify any
significant strengths and limitations of their
procedures and interpretations.
12.04 Provision of Assessment Feedback
Forensic practitioners take reasonable steps to
explain assessment results to the examinee or a
designated representative in language they can
understand (EPPCC Section 9.10). In those
circumstances in which communication about
assessment results is precluded, the forensic
practitioner explains this to the examinee in
advance (EPPCC Section 9.10).
Forensic practitioners seek to provide information
about professional work in a manner consistent
with professional and legal standards for the
disclosure of test data or results, interpretation of
data, and the factual bases for conclusions.
12.05 Documentation and Compilation of Data
Considered
Forensic practitioners recognize the importance of
documenting all data they consider with enough
detail and quality to allow for reasonable judicial
scrutiny and adequate discovery by all parties.
This documentation includes, but is not limited to,
letters and consultations; notes, recordings, and
transcriptions; assessment and test data, scoring
reports and interpretations; and all other records in
any form or medium that were created or
exchanged in connection with a matter.
When contemplating third party observation or
audio/video-recording of examinations forensic
practitioners consider any law that may control
such matters, the need for transparency and
15
documentation, and the potential impact of
observation or recording on the validity of the
examination and test security.
12.06 Provision of Documentation
Pursuant to proper subpoenas or court orders, or
other legally proper consent from authorized
persons, forensic practitioners seek to make
available all documentation described in 12.05, all
financial records related to the matter, and any
other records including reports (and draft reports if
they have been provided to a party, attorney, or
other entity for review), that might reasonably be
related to the opinions to be expressed.
12.07 Recordkeeping
Forensic practitioners establish and maintain a
system of recordkeeping and professional
communication that is consistent with law, rules,
EPPCC Standards, and regulations, and that
safeguards applicable privacy, confidentiality, and
privileges. When indicated by the extent of the
rights, liberties, and properties that may be at risk,
the complexity of the case, the amount and legal
significance of unique evidence in the care and
control of the forensic practitioner, and the
likelihood of future appeal, forensic practitioners
strive to inform the retaining party of the limits of
recordkeeping times. If requested to do so,
forensic practitioners strive to maintain such
records until notified that all appeals in the matter
have been exhausted or they send a copy of any
unique components/aspects of the record in their
care and control to the retaining party before
destruction of the record.
12.08
13. PROFESSIONAL AND OTHER PUBLIC
COMMUNICATIONS
13.01 Accuracy, Fairness, and Avoidance of
Deception
Forensic practitioners make reasonable efforts to
ensure that the products of their services, as well
as their own public statements and professional
reports and testimony, are communicated in ways
that promote understanding and avoid deception
(EPPCC Section 1.01).
When in their role as expert to the court or other
tribunals, the role of forensic practitioners is to
facilitate understanding of the evidence or dispute.
Consistent with legal and ethical requirements,
forensic practitioners do not distort or withhold
relevant evidence or opinion in reports or
testimony. When responding to discovery
requests and providing sworn testimony, forensic
practitioners strive to have readily available for
inspection all data which they considered,
regardless of whether the data supports their
opinion, subject to and consistent with court order,
relevant rules of evidence, test security issues, and
professional standards.
When providing reports and other sworn
statements or testimony in any form, forensic
practitioners strive to present their conclusions,
evidence, opinions, or other professional products
in a fair manner. Forensic practitioners do not, by
either commission or omission, participate in
misrepresentation of their evidence, nor do they
participate in partisan attempts to avoid, deny or
subvert the presentation of evidence contrary to
their own position or opinion (EPPCC Section
5.01. This principle does not preclude forceful
presentation of the data and reasoning upon which
a conclusion or professional product is based.
13.02 Differentiating Observations, Inferences,
and Conclusions
In their communications, forensic practitioners
strive to distinguish observations, inferences, and
conclusions. Forensic practitioners are prepared
to explain the relationship between their expert
opinions and the legal issues and facts of the case
at hand.
13.03 Disclosing Sources of Information and
Bases of Opinions
Forensic practitioners recognize their obligation to
affirmatively disclose all sources of all
information obtained in the course of their
professional services, and to be prepared to
identify the source of each piece of information
16
that was considered and relied upon in formulating
a particular conclusion, opinion or other
professional product.
13.04 Comprehensive and Accurate
Presentation of Opinions in Reports and
Testimony
Consistent with relevant law and rules of
evidence, when providing professional reports and
other sworn statements or testimony, forensic
practitioners strive to offer a complete statement
of all relevant opinions that they formed within the
scope of their work on the case, the basis and
reasoning underlying the opinions, the salient data
or other information that was considered in
forming the opinions, and an indication of any
additional evidence that may be used in support of
the opinions to be offered. The specific substance
of forensic reports is determined by the type of
psycholegal issue at hand as well as relevant laws
or rules in the jurisdiction in which the work is
completed.
Forensic practitioners limit discussion of
background information that does not bear directly
upon the legal purpose of the examination or
consultation. Forensic practitioners avoid offering
information that is irrelevant and that does not
provide a substantial basis of support for their
opinions, except when required by law (EPPCC
Section 4.04).
13.05 Commenting Upon Other Professionals
and Participants in Legal Proceedings
When evaluating or commenting upon the work or
qualifications of other professionals involved in
legal proceedings, forensic practitioners seek to
represent their disagreements in a professional and
respectful tone, and base them on a fair
examination of the data, theories, standards and
opinions of the other expert or party.
When describing or commenting upon clients,
examinees, or other participants in legal
proceedings, forensic practitioners strive to do so
in a fair and objective manner. Forensic
practitioners strive to report the representations,
opinions, and statements of clients, examinees, or
other participants in a fair and objective manner.

13.06 Out of Court Statements

Ordinarily, forensic practitioners seek to avoid

making detailed public (out-of-court) statements
about legal proceedings in which they have been
involved. However, sometimes public statements
may serve important goals such as educating the
public about the role of forensic practitioners in
the legal system, the appropriate practice of
forensic psychology, and psychological and legal
issues that are relevant to the matter at hand.
When making public statements, forensic
practitioners refrain from releasing private,
confidential, or privileged information, and
attempt to protect persons from harm, misuse, or
misrepresentation as a result of their statements
(EPPCC Section 4).

13.07 Commenting Upon Legal Proceedings

Forensic practitioners strive to address particular

legal proceedings in publications or
communications only to the extent that the
information relied upon is part of a public record,
or when consent for that use has been properly
obtained from any party holding any relevant
privilege (also see Section 10.04).

When offering public statements about specific

cases in which they have not been involved,
forensic practitioners offer opinions for which
there is sufficient information or data and make
clear the limitations of their statements and
opinions resulting from having had no direct
knowledge of or involvement with the case
(EPPCC Section 2.04).

17
APPENDIX I: BACKGROUND OF THE
GUIDELINES AND THE REVISION
PROCESS
A. History of the Guidelines
The previous version of the Specialty Guidelines
for Forensic Psychologists (Committee on Ethical
Guidelines for Forensic Psychologists, 1991) was
approved by the American Psychology-Law
Society, Division 41 of the American
Psychological Association, and the American
Board of Forensic Psychology in 1991. The
current revision, now called the Specialty
Guidelines for Forensic Psychology (referred to as
Guidelines throughout this document), replace the
1991 Specialty Guidelines for Forensic
Psychologists.
B. Revision Process
This revision of the Guidelines was coordinated
by the Committee for the Revision of the Specialty
Guidelines for Forensic Psychology, which was
established by the American Academy of Forensic
Psychology and the American Psychology-Law
Society/Division 41 of the American
Psychological Association in 2002 and operated
through 200x. This Committee consisted of two
representatives from each organization (Solomon
Fulero, PhD, JD, Stephen Golding, PhD, ABPP,
Lisa Piechowski, PhD, ABPP, Christina
Studebaker, PhD) a Chairperson (Randy Otto,
PhD. ABPP), and a liaison from APA Division 42
(Jeffrey Younggren, PhD).
This document was revised in accordance with
American Psychological Association Rule 30.08
and the APA policy document Criteria for the
development and evaluation of practice guidelines
(APA, 2001). The Committee posted
announcements regarding the revision process to
relevant electronic discussion lists and
professional publications [insert footnote to all list
servers and publications here]. In addition, an
electronic discussion list devoted solely to issues
concerning revision of the Guidelines was
operated between December 2002 and July 2007,
followed by establishment of an e-mail address in
18
February 2008 (sgfp@yahoo.com). Individuals
were invited to provide input and commentary on
the existing Guidelines and proposed revisions via
these means. In addition, [insert number] public
meetings were held throughout the revision
process at biennial meetings of the American
Psychology-Law Society.
Upon development of a draft that the Revisions
Committee deemed suitable, the revised
Guidelines were submitted for review to the
Executive Committee of the American
Psychology-Law Society and Division 41 of the
American Psychological Association, and to the
American Board of Forensic Psychology. Once
the revised Guidelines were approved by these
two organizations, they were submitted to the
American Psychological Association for review,
commentary, and acceptance, consistent with the
American Psychological Association’s Criteria for
Practice Guideline Development and Evaluation
(Committee on Professional Practice and
Standards, 2001) and Rule 30-8. The Guidelines
were adopted by the American Psychological
Association Council of Representatives on [insert
date here].
C. Need for the Guidelines
Professional standards for the ethical practice of
psychology as a discipline are addressed in the
Ethical Principles of Psychologists and Code of
Conduct (American Psychological Association,
2002, hereinafter EPPCC). As such, codes of
ethics are intended to describe standards for
competent and adequate professional conduct. In
contrast to the EPPCC, these Guidelines are
intended to describe the most desirable and
highest level professional conduct for
psychologists when engaged in the practice of
forensic psychology.
The Guidelines, although informed by the EPPCC
and meant to be consistent with them, are
designed to be educative and to provide more
specific and thorough guidance to psychologists
who are determining their professional forensic
conduct.
The 1991 Specialty Guidelines for Forensic
Psychologists needed revision due to
advancements in the field that have taken place
and the need for a broader and more thorough
document that addresses the wide variety of
professional forensic practice areas that have
developed and expanded since the adoption of the
original guidelines.
D. Developers and Support
The Specialty Guidelines for Forensic Psychology
were developed by the American Psychology-Law
Society, Division 41 of the American
Psychological Association, and the American
Board of Forensic Psychology, with additional
financial support provided by the American
Academy of Forensic Psychology.
E. Background Literature
Resources reviewed in the development of the
Guidelines include:
Organizational Change for Psychologists;
American Psychological Association:
Professional, Ethical, and Legal Issues Concerning
Interpersonal Violence, Maltreatment, and Related
Trauma; American Psychological Association:
Record Keeping Guidelines; American
Psychological Association: Rights and
Responsibilities of Test Takers: Guidelines and
Expectations; Association of State & Provincial
Psychology Boards: Supervision Guidelines; Joint
Committee on Testing Practices: Code of Fair
Testing Practices in Education; Mental Health
Patient’s Bill of Rights.
F. Current Status
These Guidelines are scheduled to expire [insert
date here]. After this date, users are encouraged to
contact the American Psychological Association
Practice Directorate to confirm that this document
remains in effect.
SUBMIT COMMENTS REGARDING THIS DRAFT TO:

Randy Otto, PhD

American Psychology-Law Society and American FMHI
Academy Board of Forensic Psychology: 13301 N. 30th St.
Specialty Guidelines for Forensic Psychologists; Tampa, FL 33612
rotto@fmhi.usf.edu
American Academy of Psychiatry & Law: Ethical When submitting comments please identify the specific section
Guidelines for the Practice of Forensic Psychiatry; you are referencing (e.g., 7.01, 8.03.03) and provide
American Bar Association: Model Rules of recommended alternative language when appropriate.

Professional Conduct; American Psychiatric

Association: The Principles of Medical Ethics
With Annotations Especially Applicable to
Psychiatry; American Psychological Association
Committee on Psychological Tests and
Assessment: Statement on Third Party Observers
in Psychological Testing and Assessment: A
Framework for Decision Making; American
Psychological Association: Ethical Principles of
Psychologists and Code of Conduct; American
Psychological Association: Guidelines for Child
Custody Evaluations in Divorce Proceedings;
American Psychological Association: Guidelines
for Psychological Evaluations in Child Protection
Matters; American Psychological Association:
Guidelines for Psychotherapy with Lesbian, Gay,
& Bisexual Clients; American Psychological
Association: Guidelines on Multicultural
Education, Training, Research, Practice, and

19
APPENDIX II: DEFINITIONS AND
TERMINOLOGY
For the purposes of these Guidelines:
Appropriate, when used in relation to conduct by
a forensic practitioner means that, according to the
prevailing professional judgment of competent
forensic practitioners, the conduct is apt and
pertinent and is considered befitting, suitable and
proper for a particular person, place, condition, or
function. “Inappropriate” means that, according to
the prevailing professional judgment of competent
forensic practitioners, the conduct is not suitable,
desirable, or properly timed for a particular
person, occasion, or purpose; and may also denote
improper conduct, improprieties, or conduct that is
discrepant for the circumstances.
Agreement refers to the objective and mutual
understanding between the forensic practitioner
and the person or persons seeking the professional
service and/or agreeing to participate in the
service. See also Assent, Consent, and Informed
Consent.
Assent refers to the agreement, approval, or
permission, especially regarding verbal or
nonverbal conduct, that is reasonably intended and
interpreted as expressing willingness, even in the
absence of unmistakable consent. Forensic
practitioners attempt to secure assent when
consent and informed consent can not be obtained
or when, because of mental state, the examinee
may not be able to consent.
Consent refers to agreement, approval, or
permission as to some act or purpose.
Client refers to the attorney, law firm, court,
agency, entity, party, or other person who has
retained, and who has a contractual relationship
with, the forensic practitioner to provide services.
Conflict of Interest refers to a situation or
circumstance in which the forensic practitioner’s
objectivity, impartiality, or judgment may be
jeopardized due to a relationship, financial, or any
other interest that would reasonably be expected to
20
substantially affect a forensic practitioner’s
professional judgment, impartiality, or decision-
making.
Decisionmaker refers to the person or entity with
the authority to make a judicial decision, agency
determination, arbitration award, or other
contractual determination after consideration of
the facts and the law.
Examinee refers to a person who is the subject of
a forensic examination for the purpose of
informing a decision maker or attorney about the
psychological functioning of that examinee.
Forensic Examiner refers to a psychologist who
examines the psychological condition of a person
whose psychological condition is in controversy or
at issue.
Forensic Practice refers to the application of the
scientific, technical, or specialized knowledge of
psychology to the law and the use of that
knowledge to assist in resolving legal, contractual,
and administrative disputes.
Forensic Practitioner refers to a psychologist
when engaged in forensic practice.
Forensic Psychology refers to all forensic practice
by any psychologist working within any sub-
discipline of psychology (e.g., clinical,
developmental, social, cognitive).
Informed Consent denotes the knowledgeable,
voluntary, and competent agreement by a person
to a proposed course of conduct after the forensic
practitioner has communicated adequate
information and explanation about the material
risks and benefits of, and reasonably available
alternatives to, the proposed course of conduct.
Legal Representative refers to a person who has
the legal authority to act on behalf of another.
Party refers to a person or entity named in
litigation, or who is involved in, or is witness to,
an activity or relationship that may be reasonably
anticipated to result in litigation.
Reasonable or Reasonably, when used in relation
to conduct by a forensic practitioner, denotes the
conduct of a prudent and competent forensic
practitioner who is engaged in similar activities in
similar circumstances.

Record or Written Record refers to all notes,

records, documents, memorializations, and
recordings of considerations and communications,
be they in any form or on any media, tangible,
electronic, hand-written, or mechanical, that are
contained in, or are specifically related to, the
forensic matter in question or the forensic service
provided.

Retaining Party refers to the attorney, law firm,

court, agency, entity, party, or other person who
has retained, and who has a contractual
relationship with, the forensic practitioner to
provide services.

Tribunal denotes a court or an arbitrator in an

arbitration proceeding, or a legislative body,
administrative agency, or other body acting in an
adjudicative capacity. A legislative body,
administrative agency or other body acts in an
adjudicative capacity when a neutral official, after
the presentation of legal argument or evidence by
a party or parties, renders a judgment directly
affecting a party’s interests in a particular matter.

Trier of Fact refers to a court or an arbitrator in an

arbitration proceeding, or a legislative body,
administrative agency, or other body acting in an
adjudicative capacity. A legislative body,
administrative agency or other body acts in an
adjudicative capacity when a neutral official, after
the presentation of legal argument or evidence by
a party or parties, renders a judgment directly
affecting a party’s interests in a particular matter.

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